DC
Douglas B. Callen
B.B. GRAHAM & COMPANY
ORANGE, CA 92867
Some features on this profile are disabled
CRD#: 2133945
DC
Professional summary
Douglas Brad Callen, CFP®, ChFC®, CLU®, who also goes by Douglas Bradley Callen, is a registered financial advisor currently at B.B. GRAHAM & COMPANY, INC. located in Orange, California.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Douglas has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 31, Series 7, Series 4, Series 53, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Douglas Bradley Callen
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
CONNEXIEN, LLC., CONSULTING TO INVESTMENT RELATED INDUSTRY, 19100 VON KARMEN IRVINE CA, PROVIDES A STRUCTURE FOR COMPANIES LOOKING FOR PROJECT/SERVICE HELP FOR ANY BROKER DEALER, RIA, INSURANCE COMPANY RELATED PROJECTS, 0 TO 3 HOURS MONTHLY (as needed), LISTED ON WEBSITE AS PERSON AVAILABLE FOR PROJECTS.
FOR FULL DISCLOSURE PURPOSES, I ALSO SERVE AS AN INDUSTRY ARBITRATOR FOR FINRA(NASD) AND THE NFA.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Brad Callen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Douglas Brad Callen's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2007
Experience
Current
October 29, 2010 - Present
B.B. GRAHAM & COMPANY, INC.
Office #1: 1700 W. Katella Ave., Orange, CA 92867Office #2: 1700 W Katella Ave, Orange, CA 92867RIA
BD
CRD#: 41533
ORANGE, CA
Current
October 28, 2010 - Present
B.B. GRAHAM & COMPANY, INC.
Office #1: 1700 W. Katella Ave., Orange, CA 92867Office #2: 1700 W Katella Ave, Orange, CA 92867RIA
BD
CRD#: 41533
ORANGE, CA
Past
November 4, 2008 - November 4, 2010
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
WESTMINSTER, CA
Past
November 4, 2008 - November 4, 2010
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WESTMINSTER, CA
Past
March 17, 2008 - April 4, 2008
IFMG SECURITIES, INC.
RIA
CRD#: 14416
IRVINE, CA
Past
March 17, 2008 - April 4, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
IRVINE, CA
Past
August 1, 2007 - March 11, 2008
IFMG SECURITIES, INC.
RIA
CRD#: 14416
IRVINE, CA
Past
August 1, 2007 - March 11, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
IRVINE, CA
Past
January 16, 2003 - October 1, 2007
DFC INVESTOR SERVICES
RIA
CRD#: 18558
IRVINE, CA
Past
April 5, 2001 - May 26, 2009
DFC INVESTOR SERVICES
BD
CRD#: 18558
IRVINE, CA
Past
June 15, 1998 - September 3, 1999
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
October 22, 1996 - June 18, 1998
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BG
B.B. GRAHAM & COMPANY, INC.
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
RIA
Registered Investment Advisory firm - SEC (12/3/2015 Approved)Arizona
Registered Investment Advisory firm - SEC (12/17/2015 Terminated)California
Registered Investment Advisory firm - SEC (1/16/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (12/17/2015 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/3/2015 Terminated)Iowa
Registered Investment Advisory firm - SEC (12/31/2015 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (12/17/2015 Terminated)Missouri
Registered Investment Advisory firm - SEC (12/17/2015 Terminated)Nebraska
Registered Investment Advisory firm - SEC (12/31/2015 Terminated)North Carolina
Registered Investment Advisory firm - SEC (12/17/2015 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (12/17/2015 Terminated)Texas
Registered Investment Advisory firm - SEC (12/17/2015 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (12/18/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/3/2011)
RR
Arizona(1/3/2011)
IAR
Arizona(8/31/2011)
RR
Arkansas(1/19/2011)
RR
California(10/28/2010)
IAR
California(10/29/2010)
RR
Colorado(1/2/2013)
RR
Connecticut(1/3/2011)
RR
Delaware(5/21/2012)
RR
District of Columbia(12/15/2023)
RR
Florida(1/2/2013)
RR
Georgia(1/3/2011)
RR
Hawaii(3/15/2013)
IAR
Hawaii(6/12/2013)
RR
Idaho(1/3/2011)
RR
Illinois(1/2/2013)
RR
Iowa(1/3/2011)
RR
Kansas(1/3/2011)
RR
Kentucky(6/12/2012)
RR
Louisiana(1/3/2011)
RR
Maine(1/3/2011)
RR
Maryland(1/3/2011)
RR
Massachusetts(1/2/2013)
IAR
Massachusetts(1/8/2013)
RR
Michigan(1/3/2011)
RR
Minnesota(1/3/2011)
RR
Mississippi(1/3/2011)
RR
Missouri(1/3/2011)
IAR
Missouri(7/28/2011)
RR
Montana(8/30/2018)
RR
Nebraska(3/29/2011)
IAR
Nebraska(5/5/2011)
RR
Nevada(1/2/2013)
RR
New Hampshire(1/3/2011)
RR
New Jersey(5/14/2014)
RR
New Mexico(9/6/2012)
IAR
New Mexico(11/28/2023)
RR
New York(1/2/2013)
RR
North Carolina(1/3/2011)
IAR
North Carolina(11/22/2023)
RR
North Dakota(1/18/2019)
IAR
North Dakota(11/27/2023)
RR
Ohio(1/3/2011)
RR
Oklahoma(1/3/2011)
IAR
Oklahoma(2/9/2015)
RR
Oregon(1/3/2012)
IAR
Oregon(11/22/2023)
RR
Pennsylvania(1/3/2012)
RR
Rhode Island(1/3/2011)
RR
South Carolina(1/3/2011)
RR
South Dakota(9/27/2012)
RR
Tennessee(1/3/2011)
RR
Texas(1/13/2011)
RR
Utah(1/3/2011)
RR
Vermont(10/23/2023)
RR
Virginia(1/2/2013)
RR
Washington(1/2/2013)
RR
West Virginia(1/2/2020)
IAR
Wisconsin(5/16/2011)
RR
Wyoming(1/3/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BG
B.B. GRAHAM & COMPANY, INC.
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
RIA
Registered Investment Advisory firm - SEC (12/3/2015 Approved)Arizona
Registered Investment Advisory firm - SEC (12/17/2015 Terminated)California
Registered Investment Advisory firm - SEC (1/16/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (12/17/2015 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/3/2015 Terminated)Iowa
Registered Investment Advisory firm - SEC (12/31/2015 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (12/17/2015 Terminated)Missouri
Registered Investment Advisory firm - SEC (12/17/2015 Terminated)Nebraska
Registered Investment Advisory firm - SEC (12/31/2015 Terminated)North Carolina
Registered Investment Advisory firm - SEC (12/17/2015 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (12/17/2015 Terminated)Texas
Registered Investment Advisory firm - SEC (12/17/2015 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (12/18/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
1700 W. Katella Ave., Orange, CA 92867
Mailing Address
1700 W. Katella Ave., Orange, CA 92867
Phone number
(714) 628-5200
Established
California since 06/18/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
28
SEC notice filing (45 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRAHAM, BRUCE EDWIN | PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER | 2563258 |
| BETTFREUND, JOHN WAYNE JR | CHIEF COMPLIANCE OFFICER | 1448436 |
| CALLEN, DOUGLAS BRAD | SENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | 2133945 |
| GODINEZ, MARIE ELIZABETH | CHIEF OPERATIONS OFFICER | 3020086 |
Regulatory assets under management
| Total Number of Accounts | 303 |
| AUM (Assets Under Management) | $ 196,073,458 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
